Practice/Industry Group Overview
Our Securities and Investment Professional Liability Practice Group services a broad client base, including, but not limited to:
- Registered representatives
- Financial planners
- Investment advisors
- Hedge fund and mutual fund administrators
- Financial services outsourcing solution providers
- Private trust companies
- Insurance brokers/agents
We also handle:
- Fiduciary liability matters
- Corporate directors and officers
- Employment practice liability matters
In addition to professional liability matters in state and federal courts, we defend brokers and broker-dealers before self-regulatory organizations, state agencies and the SEC. We handle securities arbitration claims before FINRA, AAA and other SROs.
Founded in 1962, Marshall Dennehey Warner Coleman & Goggin is one of the largest law firms in the country devoted exclusively to civil defense litigation. We have 450 attorneys in eighteen offices strategically located in Philadelphia, Pittsburgh, Tampa, Orlando, Jacksonville, Ft. Lauderdale and communities throughout Pennsylvania, New Jersey, Delaware, Ohio, Florida and New York.
Our offices are centrally linked by state-of-the-art computer networking. Clients realize a number of benefits from our extensive network of offices: travel time is sharply reduced and the attorneys working out of these offices and living in these respective areas are intimately familiar with the local practice and enjoy a good rapport with the judges before whom they frequently appear.
Recognizing the need for a cost-effective approach to the defense of professionals and organizations, we are dedicated to providing our clients with quality, timely and economical service. We are on the cutting-edge in developing innovative and alternative billing practices.
We welcome the opportunity to work with you in handling your securities professional liability matters. We are also available to conduct presentations, as well as training or compliance seminars at your location or at one of our offices.